DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

A•••••••• R••••

S•••••••• S•••••••••BD affiliatedJackson Heights, Ny dual registrantIAPD 1882143

Feed of 09/15/2026

Also filed as Alexander R

At current firm

2 y

since Jul 9, 2024

In the industry

37 y

since Dec 5, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• S••••••••• BD affiliated current
since Jul 9, 2024 · Brooklyn, Ny
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 15, 2022 to Apr 4, 2024 · Huntington, Ny
C••••••• S••••••••• I••• BD affiliated
Aug 17, 2022 to Sep 15, 2022 · Forest Hills, Ny
C••••• I••••••••• A••••••• L•• BD affiliated
Apr 14, 2020 to Aug 17, 2022 · Bayside, Ny
H••• S••••••••• •••• I••• BD affiliated
Aug 3, 2017 to Apr 15, 2020 · New York, Ny
J••• M••••• S••••••••• L•• wirehouse
May 22, 2014 to Jul 21, 2017 · New York, Ny
I••••• F•••••••• C••••••••• former
May 11, 2012 to May 15, 2014 · Commack, Ny
C•••••• O•• F•••••••• A••••••• L•• unclassified
Jul 31, 2009 to Apr 27, 2012 · Melville, Ny

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to S•••••••• S•••••••••
left Apr 4, 2024, registered Jul 9, 2024 (96 days) · Affiliated broker-dealer or bank to another
C••••••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••
left Sep 15, 2022, registered Sep 15, 2022 (0 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to C••••••• S••••••••• I•••
left Aug 17, 2022, registered Aug 17, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
H••• S••••••••• •••• I••• to C••••• I••••••••• A••••••• L••
left Apr 15, 2020, registered Apr 14, 2020 (-1 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to H••• S••••••••• •••• I•••
left Jul 21, 2017, registered Aug 3, 2017 (13 days) · Other
I••••• F•••••••• C••••••••• to J••• M••••• S••••••••• L••
left May 15, 2014, registered May 22, 2014 (7 days) · Other
C•••••• O•• F•••••••• A••••••• L•• to I••••• F•••••••• C•••••••••
left Apr 27, 2012, registered May 11, 2012 (14 days) · Other

Signals

A•••••••• R•••• left C•••••••• G••••• M•••••• I••• for S•••••••• S••••••••• (registered 2024-07-09)
Apr 4, 2024 · Advisor changed firm · fact
A•••••••• R•••• left C••••••• S••••••••• I••• for C•••••••• G••••• M•••••• I••• (registered 2022-09-15)
Sep 15, 2022 · Advisor changed firm · fact
A•••••••• R•••• left C••••• I••••••••• A••••••• L•• for C••••••• S••••••••• I••• (registered 2022-08-17)
Aug 17, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address